Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Ellison (Ellison), previously associated with Securian Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ellison recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $30,000.00 on March 21, 2023.
An Equitable annuity was liquidated on 10/24/2021 at the recommendation of the representative. Representative failed to check on the gain in the annuity and the liquidation resulted in an unintended taxable event.